绩效下跌、管理者能力与企业专利战略:对专利数量和质量之间张力的分析  

Performance shortfall,managerial ability and firms′patenting strategy:An analysis of the tension between quantity and quality

作　　者：丁鹏[1] DING Peng(School of Economics and Management,Dalian University of Technology,Dalian 116024,China)

机构地区：[1]大连理工大学经济管理学院,辽宁大连116024

出　　处：《管理工程学报》2023年第5期14-22,共9页Journal of Industrial Engineering and Engineering Management

基　　金：国家自然科学基金青年项目(72102027);中国博士后科学基金资助项目(2021M690511)。

摘　　要：企业行为理论研究在绩效下跌(即绩效低于绩效标杆)与各类组织变革之间建立了理论联系。然而,绩效下跌的影响如何,不仅取决于组织变革本身的性质,还取决于决策者对绩效下跌的解读。本研究聚焦于企业专利申请数量和专利申请质量这两种具有内在张力的企业行为,探讨了管理者能力将如何调节这两种行为的绩效反馈过程。管理者能力的调节效应源于能力水平不同的决策者对绩效下跌的解读也不同。基于中国制造业上市公司2011年—2017年的数据,本研究发现绩效下跌与专利申请数量之间存在负向关系,使得绩效越低于绩效标杆,专利申请数量也越低,而管理者能力将削弱这一负向关系;绩效下跌与专利申请质量之间存在正向关系,使得绩效越低于绩效标杆,专利申请质量也越高,而管理者能力将增强这一正向关系。The behavioral theory of the firm is an important fundamental theory in the management domain.It describes the strategic decision-making process of a firm as a performance feedback process and argues that performance shortfall,i.e.,firms′failing to achieve their aspirations,would make decision makers launch problemistic search to seek solutions to settling the problem of performance shortfall,consequently leading to organizational changes.Previous studies have established theoretical relationship between performance shortfalls and various kinds of organizational changes.However,no consensus has been reached about the effect of performance shortfalls.On one hand,many studies support the classic predictions of the behavioral theory of the firm and it′s found that performance shortfalls would lead to organizational changes of the firm.On the other hand,some studies indicate contrary evidence that performance shortfalls would reduce firms′tendency to make organizational changes.This study holds that the way a firm responds to performance shortfall depends on decision makers′interpretation of performance shortfall and on the characteristics of that organizational change.To make up for the research gap described above,this study incorporates managerial ability into the behavioral theory of the firm and focuses on the quantity and the quality of firms′patent applications with inherent tension.Specifically,this study examines how performance shortfall influences firms′patenting strategies involving the quantity and the quality of patent applications and how managerial ability moderates the relationships between performance shortfall and patenting strategies.This study investigates managerial ability,because it would influence the performance feedback process of the two patenting strategies by altering decision makers′interpretation of performance shortfalls.This study focuses on firms′patenting strategies for the following reasons.First,patenting strategies are common and important strategies for manufact

关 键 词：企业行为理论 绩效反馈 管理者能力 专利申请 

分 类 号：F272.3[经济管理—企业管理]